Brady Kim (CRD #4207597) Has Financial and Judgment/Lien Disclosures on FINRA BrokerCheck

Brady Kim (CRD #4207597) is a broker with financial and judgment/lien disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 16, 2026. It reflects three financial disclosures and one judgment/lien disclosure. If you invested with Brady Kim and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Financial Disclosures

Brady Kim’s FINRA BrokerCheck Report reflects three financial disclosures. A summary of two disclosures from that category is below:

On August 25, 2025, Brady Kim’s FINRA BrokerCheck Report shows a final financial disclosure. BrokerCheck lists it as a compromise with Citibank. The original amount owed was about $700. The disclosure says the debt was settled for $455 and marked satisfied/released on August 25, 2025.

Another Brady Kim FINRA BrokerCheck disclosure shows a final compromise dated June 27, 2025. BrokerCheck lists Merrick Bank as the creditor and $1,644 as the original amount owed. The reported terms were $1,000. The matter was marked satisfied/released on June 27, 2025.

Brady Kim’s FINRA BrokerCheck Report shows one additional financial disclosure in this same category.

Judgment / Lien

Brady Kim’s FINRA BrokerCheck Report also reflects one judgment/lien disclosure. A summary of that disclosure is below:

On February 12, 2026, Brady Kim’s FINRA BrokerCheck Report shows a civil judgment/lien disclosure. BrokerCheck lists the amount as $1,179.29 and identifies Wintergreen Apartments, LLLP as the holder. It says the matter was filed in Baltimore County District Court in Towson, Maryland. BrokerCheck also says the judgment remains outstanding.

Rule Summary #1: FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration)

FINRA Rule 1122 bars incomplete or inaccurate registration filings that could mislead. Financial events and judgments are the type of information that must be reported accurately, so the rule is relevant when BrokerCheck shows disclosure items on a broker’s record.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires associated persons to observe high standards of commercial honor and just and equitable principles of trade. Disclosure issues can matter because investors and firms rely on accurate and complete information about a broker’s record.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

1.    Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

2.    Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

3.    Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

4.    Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on His FINRA BrokerCheck report, Brady Kim:

Is currently registered with J.P. Morgan Securities LLC.

Has passed the Securities Industry Essentials (SIE) exam. Brady Kim has passed Series 6, Series 55, and Series 7. He has also passed Series 63.

Was previously registered with firms that include Barclays Capital Inc., Lehman Brothers Inc., Assent LLC, and Worldco, L.L.C.

Kurta Law Can Help

If you have worked with Brady Kim and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. A securities attorney can help you assess potential causes of action and determine whether your losses may be recoverable through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | What Is Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.